According to FINRA’s BrokerCheck, available to the public on FINRA’s website, PETER LEWIS GOFFIN (PETER L GOFFIN), formerly of NEWBRIDGE SECURITIES CORPORATION of Boca Raton, Florida, has 10 “Customer Disputes” on his FINRA CRD report. Goffin may have allegedly sold GWG L Bonds to clients who suffered significant financial losses. The one other disclosure on […]

According to FINRA’s BrokerCheck, available to the public on FINRA’s website, RAJESH MARKAN, was permanently barred by FINRA on October 1, 2024.  Markan was previously registered with HILLTOP SECURITIES INC of Dallas, Texas, from 10/05/2022 - 08/12/2024.  Before Hilltop, Markan was registered with MERRIL LYNCH, PIERCE, FENNER & SMITH INC. of Flower Mound, Texas, from […]

Soreide Law Group, based in Pompano Beach, Florida, has filed a FINRA arbitration on behalf of their client (Claimant) against: EQUITABLE ADVISORS, LLC. (Respondent) The Claimant became a client of EQUITABLE ADVISORS, and their registered representative, VICTOR M TORRES in Ft. Lauderdale, Florida. According to the lawsuit, VICTOR M TORRES, specialized in selling variable insurance […]

Soreide Law Group has been contacted by clients of KAREN YVONNE GEIGER (KAREN YVONNE BOWMAN, KAREN YVONNE TANASKA), who were sold GWG L Bonds and incurred significant losses. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, KAREN YVONNE GEIGER, has been in the securities industry for 35 years and was listed with […]

DELIO EDUARDO LONDONO (DEL E LONDONO, DEL LONDONO) was with SAGEPOINT FINANCIAL of La Crescenta, California, from 05/06/2010 - 09/16/2020.  Londono was previously registered both as a broker and as an investment advisor. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, DEL E LONDONO, has been in the securities industry for 19 […]

JACK B MCBRIDE was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm on August 4, 2023. McBride was previously registered both as a broker and as an investment advisor. He was with B. RILEY WEALTH MANAGEMENT of Plymouth, Michigan from 08/11/2014 - 01/11/2022, and with NEWBRIDGE SECURITIES CORPORATION […]

VINCENT JEROME CAMARDA, the most recently with, IBN Financial Services, Inc., and Traderfield Securities, of Massapequa, New York, according to FINRA's BrokerCheck, has 19 disclosures on his FINRA CRD report.  Of the 19 disclosures, 17 are “Customer Disputes,” 13 were filed in 2024 alone. The damage amounts requested for 5 of the pending disputes from […]

The Securities and Exchange Commission (SEC) reached a settlement of $437,900 in penalties with Maloney Securities Co. Inc. and three of its financial advisors, for violating Regulation Best Interest (Reg BI) in the sales of bonds issued by GWG Holdings Inc., which declared bankruptcy in April 2022, according to a recent article in InvestmentNews. Regulation Best Interest […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: NEWBRIDGE SECURITIES CORPORATION The Claimant is in his seventies and lives in North Carolina. On or about 2018, the Claimant received a phone call from his firm that his previous broker was no longer with the firm and Jack B […]